27 C.F.R. Subpart D—Qualification
Title 27 - Alcohol, Tobacco Products and Firearms
A person who desires to engage in the business of manufacturing concentrate shall submit an application for registration on Form 27–G (5520.3) and receive approval as provided in this part. All written statements, affidavits, and other documents submitted in support of the application or incorporated by reference are deemed a part thereof. [T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996] (a) Restrictions. A concentrate plant may not be established in any dwelling house or on board any vessel or boat, or on any premises where any other business is conducted. The premises of a concentrate plant may be used only for the business stated in the approved application for registration. (b) Exceptions. The appropriate TTB officer may authorize (1) the establishment of a concentrate plant on premise where other business is conducted, or (2) the use of the premises of a concentrate plant for other business. A person or proprietor desiring such authorization shall submit a written application to the appropriate TTB officer. The application will describe the other business by type and the premises to be used. If the premises of a concentrate plant are to be used for other business, the relationship (if any) to the concentrate plant will be described in the application. A concentrate plant may not be established on premises where other business is conducted or used to conduct other business until the application is approved. The appropriate TTB officer may decline to approve the application or withdraw the authorization if the revenue is jeopardized or the effective administration of this part is hindered. [T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996] The provisions of subpart C of part 29 of this chapter are applicable to stills or distilling apparatus located on concentrate plant premises used for the production of concentrate. As provided under §29.55, the listing of a still in the application, and approval of the application, constitutes registration of the still. (Sec. 201, Pub. L. 85–859, 72 Stat. 1355, as amended, 1392, as amended (26 U.S.C. 5179, 5511)) [T.D. ATF–207, 50 FR 23681, June 5, 1985, as amended by T.D. ATF–462, 66 FR 42736, Aug. 15, 2001] Applications on Form 27–G (5520.3) will include the following: (a) Serial number; (b) Name and principal business address of the applicant, and the location of the plant if different from the business address; (c) Purpose for which filed; (d) Information regarding proprietorship, supported by the organizational documents listed in §18.25; and (e) Description of each still and a statement of its maximum capacity. Where any of the information required by this section is on file with the appropriate TTB officer, that information, if accurate and complete, may be incorporated by reference by the applicant and made a part of the application. [T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996] The supporting information required by paragraph (d) of §18.24 includes, as applicable: (a) Extracts from the articles of incorporation or from the minutes of meetings of the board of directors, authorizing the incumbents of certain offices, or other persons, to sign for the corporation; (b) Names and addresses of the officers and directors (Do not list officers and directors who have no responsibility in connection with the operation of the concentrate plant.); (c) Names and addresses of the 10 persons having the largest ownership or other interest in the corporation or other entity, and the nature and amount of the stockholding or other interest of each, whether the interest appears in the name of the interested party or in the name of another for him; and (d) In the case of an individual owner or a partnership, the name and address of every person interested in the concentrate plant, whether the interest appears in the name of the interested party or in the name of another for him. The proprietor shall execute and file a Form 1534 (5000.8) for every person authorized to sign or to act on behalf of the proprietor. (Not required for persons whose authority is furnished in the application.) [T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996] (a) The appropriate TTB officer, to protect the revenue, may require: (1) Additional information in support of an application for registration; (2) Marks on major equipment to show serial number, capacity, and use; (3) Installation of meters, tanks, pipes, or other apparatus; and (4) Installation of security devices. (b) Any proprietor refusing or neglecting to comply with any requirement of this section shall not be permitted to operate. (Sec. 201, Pub. L. 85–859, 72 Stat. 1349, as amended, 1353, as amended, 1395, as amended (26 U.S.C. 5172, 5178, 5552)) [T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
Title 27: Alcohol, Tobacco and Firearms
PART 18—PRODUCTION OF VOLATILE FRUIT-FLAVOR CONCENTRATE
Subpart D—Qualification
§ 18.21 General.
§ 18.22 Restrictions as to location and use.
§ 18.23 Registry of stills.
Application
§ 18.24 Data for application.
§ 18.25 Organizational documents.
§ 18.26 Powers of attorney.
§ 18.27 Additional requirements.
Changes After Original Establishment
§ 18.31 General requirements.
Where there is a change with respect to the information shown in the application, the proprietor shall submit, within 30 days of the change (except as otherwise provided in this part), an amended application on Form 27–G (5520.3).
(Approved by the Office of Management and Budget under control number 1512–0046)(Sec. 201, Pub. L. 85–859, 72 Stat. 1392, as amended (26 U.S.C. 5511))
[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.32 Change in name.
The proprietor shall submit an amended application to cover any change in the individual, firm, or corporate name.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.33 Change in location.
The proprietor shall submit an amended application to cover a change in the location of a concentrate plant. Operation of the concentrate plant may not be commenced at the new location prior to approval of the amended application.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.34 Continuing partnerships.
If, under the laws of the particular State, the partnership is not immediately terminated on death or insolvency of a partner, but continues until the winding up of the partnership affairs is completed, and the surviving partner has the exclusive right to the control and possession of the partnership assets for the purpose of liquidation and settlement, the surviving partner may continue to operate the plant under the prior qualification of the partnership. If the surviving partner acquires the business on completion of the settlement of the partnership, such partner shall qualify in his own name form the date of acquisition, as provided in §18.35. The rule set forth in this section also applies where there is more than one surviving partner.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.35 Change in proprietorship.
(a) General. If there is a change in the proprietorship of a concentrate plant, the outgoing proprietor shall comply with the requirements of §18.38, and the successor shall, before commencing operations, file application and receive approval in the same manner as a person qualifying as the proprietor of a new concentrate plant. Processing material, concentrate and other materials may be transferred from an outgoing proprietor to a successor.
(b) Fiduciary. A successor to the proprietorship of a concentrate plant who is an administrator, executor, receiver, trustee, assignee, or other fiduciary shall comply with the provisions of paragraph (a) of this section. If the fiduciary was appointed by a court, the effective dates of the qualifying documents filed by the fiduciary shall be the effective date of the court order, or the date specified therein for the fiduciary to assume control. If the fiduciary was not appointed by a court, the date the fiduciary assumes control shall coincide with the effective date of the qualifying documents filed by the fiduciary.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.36 Change in officers and directors.
The proprietor shall submit an amended application to cover changes in the list of officers and directors furnished under the provisions of §18.25.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.37 Change in stockholders.
The proprietor shall submit changes in the list of stockholders furnished under the provisions of §18.25 annually on May 1. When the sale or transfer of capital stock results in a change of control or management of the business, the proprietor shall comply with the provisions of §18.35.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.38 Permanent discontinuance.
A proprietor who permanently discontinues the business of a concentrate manufacturer shall, after completion of operations, file an application on Form 27–G (5520.3) to cover such discontinuance, giving the date of the discontinuance.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–104, 47 FR 23921, June 2, 1982, as amended by T.D. ATF–381, 61 FR 37003, July 16, 1996]
§ 18.39 Qualification to alternate a volatile fruit-flavor concentrate plant and a distilled spirits plant.
A proprietor of a volatile fruit-flavor concentrate plant operating a contiguous distilled spirits plant may alternate the use of such premises between the two functions through extension and curtailment by filing with the appropriate TTB officer the following information:
(a) TTB Form 27–G (5520.3) and TTB Form 5110.41 to cover the proposed alternation of premises;
(b) A special diagram, in duplicate, delineating the premises as they will exist, both during extension and curtailment and clearly depicting all buildings, floors, rooms, areas, equipment and pipe lines (identified individually by letter or number) which are to be subject to alternation, in their relative operating sequence; and
(c) A bond or a consent of surety to cover the proposed alternation of premises.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–455, 66 FR 29482, May 31, 2001]
§ 18.40 Qualification to alternate volatile fruit-flavor concentrate plant and bonded wine cellar.
A proprietor of a volatile fruit-flavor concentrate plant operating a contiguous bonded wine cellar may alternate the use of each premise by extension and curtailment by filing with the appropriate TTB officer the following information:
(a) TTB Form 27–G (5520.3) and TTB Form 5120.25 to cover the proposed alternation of premises;
(b) A special diagram, in duplicate, delineating the premises as they will exist, both during extension and curtailment and clearly depicting all buildings, floors, rooms, areas, equipment and pipe lines (identified individually by letter or number) which are to be subject to alternation, in their relative operating sequence; and
(c) A bond or a consent of surety to cover the proposed alternation of premises.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–455, 66 FR 29482, May 31, 2001]
§ 18.41 Separation of premises.
The appropriate TTB officer may specify additional means of separating the volatile fruit-flavor concentrate plant from a distilled spirits plant or bonded wine cellar premises.
[T.D. ATF–455, 66 FR 29482, May 31, 2001]
§ 18.42 Record of alternation.
After approval of the qualifying documents for the alternation of premises, the proprietor must execute a record each time that the premises are alternated. The record will contain the following information:
(a) Identification assigned by TTB, including the plant or registry number, of the volatile fruit-flavor concentrate plant and the distilled spirits plant or bonded wine cellar;
(b) Effective date and time of proposed change; and
(c) Description of the alternation that identifies the diagrams depicting the premises before and after the alternation.
(Approved by the Office of Management and Budget under control number 1512–0046)[T.D. ATF–455, 66 FR 29482, May 31, 2001]
§ 18.43 Conditions of alternation.
(a) Curtailment of volatile fruit-flavor concentrate plant. The proprietor must remove all concentrate, fruit mash, and juice from the volatile fruit-flavor concentrate plant alternated to a distilled spirits plant or to a bonded wine cellar premises, unless such concentrate, fruit mash, or juice is being simultaneously transferred to the distilled spirits plant or bonded wine cellar premises.
(b) Extension of volatile fruit-flavor concentrate premises and curtailment of distilled spirits plant. The proprietor must remove all spirits, denatured spirits, articles and wine, except for concentrate, fruit mash, or juice that is being simultaneously transferred to the volatile fruit-flavor concentrate plant.
(c) Extension of volatile fruit-flavor concentrate premises and curtailment of bonded wine cellar premises. The proprietor must remove all wine and spirits from the alternated bonded wine cellar premises, except for concentrate, fruit mash, or juice that is being simultaneously transferred to the volatile fruit-flavor concentrate plant.
[T.D. ATF–455, 66 FR 29482, May 31, 2001]
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